Our Staff has compiled our research into a database of FINRA Broker Disclosures for Principal Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Walter Aristides Magana | 4836662 | 1 | 01/21/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Michael Sills | 1687196 | 1 | 07/11/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Carl Schalles | 2972201 | 2 | 05/05/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Ray Runyan | 7330011 | 2 | 03/16/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lawrence Carl Schalles | 2972201 | 2 | 06/27/1980 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Ray Runyan | 7330011 | 2 | 11/02/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Salvatore Joseph Durso | 1026014 | 4 | 08/22/1979 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Salvatore Joseph Durso | 1026014 | 4 | 11/15/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Mac Congelio | 2619086 | 1 | 02/07/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Hughes | 1752908 | 2 | 11/30/-0001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |